Joanna J. Cui
Professional summary
Joanna Jie Cui, CFP®, who also goes by Jie Cui, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in San Mateo, California and NYLIFE SECURITIES LLC located in San Mateo, California.
Joanna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Joanna has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joanna Jie Cui's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2005
Experience
March 10, 2006 - Present
EAGLE STRATEGIES LLC
Office #2: 951 Mariners Island Blvd Suite 600, San Mateo, CA 94404July 19, 1995 - Present
NYLIFE SECURITIES LLC
Office #1: 951 Mariners Island Blvd Suite 600, San Mateo, CA 94404Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/7/1995)
(3/10/2006)
(6/16/2025)
(10/21/2022)
Exams
Series 7TO
Date: 9/8/2021
General Securities Representative ExaminationFINRA
Current Firm
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
Red Flags
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